Head of Compliance (UK) - Summary A senior compliance leader responsible for overseeing the UK compliance function for a Investment Manager. The role holds regulatory accountability under the UK Senior Managers & Certification Regime (SMCR) for compliance oversight and anti-money laundering. Core Purpose Ensure the firm complies with all applicable UK regulatory requirements and maintains an effective compliance and financial crime risk framework. Key Responsibilities 1. Leadership & Strategy * Lead and manage the UK Compliance function * Develop and maintain a risk-based compliance monitoring programme * Oversee regulatory training, policies, and reporting * Advise senior stakeholders on compliance risks and issues * Monitor regulatory developments and implement required changes * Ensure the function is adequately resourced and aligned globally 2. Financial Crime & AML Oversight * Act as Money Laundering Reporting Officer (MLRO) * Maintain systems and controls to prevent financial crime (AML, bribery, corruption, modern slavery) * Ensure staff training and adherence to financial crime requirements * Oversee first-line controls managing financial crime risk 3. Regulatory Engagement & Governance * Serve as primary contact for the UK regulator * Report compliance issues and breaches to senior committees and regulators * Provide regular reporting to the Board and risk committees * Support governance forums and contribute to oversight committees 4. Risk Management & Advisory * Identify, assess, and manage compliance risks * Investigate breaches and ensure appropriate escalation and resolution * Provide independent oversight of compliance issues across the business * Implement corrective actions and monitor trends 5. Culture & Fiduciary Responsibility * Promote a strong compliance culture and ethical conduct * Support client-focused obligations, including managing conflicts of interest * Ensure alignment with regulatory expectations on customer outcomes 6. People Management * Lead and develop the compliance team * Ensure staff are trained, competent, and engaged * Collaborate with global teams to ensure consistency in policies and standards